5 Questions Every Asset Manager Should Ask a Tech Vendor – Before You Commit
Vendor relationships are critical to operating any investment management business. The right partner can drive significant value for your firm and pay dividends long term. But how do you find the right one in a sea of offerings?
November 01, 2023
Senators Discuss Likelihood of Bipartisan Passage of Crypto Legislation
At a Bipartisan Policy Center event on the future of cryptocurrency and blockchain technology, Senators John Hickenlooper (D-Colo.) and Thom Tillis (R-N.C.) expressed a willingness to move forward with bipartisan legislation on cryptocurrency.
March 17, 2023
SEC’s Gensler Addresses FinTech Priorities
SEC’s Gensler Addresses FinTech Priorities Chairman Says He’s Technology-Neutral, But not Public Policy-Neutral September 3, 2021 Observing that “ew financial technologies continue to change the face of finance for...
September 07, 2021
SEC’s Gensler Addresses FinTech Priorities
Chairman Says He’s Technology-Neutral, But not Public Policy-Neutral Observing that “ew financial technologies continue to change the face of finance for investors and businesses” globally, SEC Chair Gary Gensler used...
September 03, 2021
High Tech in High Finance | SEC’s FinHub, Compliance Automation
As in other industries, technological change is driving innovation in asset management. At the 2021 IAA Investment Adviser Compliance Conference, a breakout session titled Adapting Technology to Achieve Compliance Efficiency...
April 19, 2021
SEC’s Division of Examinations Releases Roadmap for Advisers that Invest Clients in Digital Assets
Saying activities involved in the offer, sale, and trading of digital assets present unique risks to investors, the SEC’s Division of Examinations has issued a new Risk Alert to assist...
March 01, 2021
SEC’s Asset Management Advisory Committee Holds Special Meeting to Discuss Diversity and Inclusion, Data Privacy and Technology July 23, 2020 The SEC’s Asset Management Advisory Committee held a special...
July 23, 2020
Maximizing the Benefits of Compliance Technology
Maximizing the Benefits of Compliance Technology By Carlos Guillen, President & CEO, BasisCode Compliance LLC July 10, 2020 It has now been almost 20 years since the first computer...
July 10, 2020
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